DFX Intelligence
RIA Intelligence
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SEC-registered adviser
C•••• W• I••••••••• G••••• L••
Latest filing Apr 10, 2026
First filing on the tape Feb 7, 2014 · 11 filings
SEC status approved since May 13, 2024
RAUM
$147M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
80%
$118M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$73.7M
derived; firm RAUM over IAPD count
Employees
2
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
1
reported on Schedule D
History
11 filings and snapshots on the tape
RAUM$147M as of Apr 10, 2026
Jan 30, 2025$127M then
HNW client RAUM$110M as of Apr 10, 2026
Jan 30, 2025$95.2M then
State-registered IARs (5.B.3)2 as of Apr 10, 2026
Jan 30, 20252 then
Employees (5.A)2 as of Apr 10, 2026
Jan 30, 20252 then
Private funds1 as of Apr 10, 2026
Jan 30, 20251 then
RAUM +16% over the last fiscal yearIARs 2 to 2
Practice profile
derived from the filing of Apr 10, 2026; every figure names its basis
Archetypes, each a printed rule
- Independent boutique · a wealth manager with no broker-dealer, bank or insurance affiliate, 2 to 25 advisors, one to three offices, no public reporting company control
- RIA with private funds · a wealth manager (private-client share at least 50 percent) that reports at least one private fund on Schedule D 7.B.(1)
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $73.7MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 47derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.7MderivedHNW RAUM over HNW clients
- Average account
- $685,947derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +16%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +2.2%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individualsreportedItem 5.G
- Ownership
- no PE, bank or public-company owner found on Schedule Aderived
- Advisor book size
- not public; not estimatedreported
Also answered yes on Form ADV
- buys or sells securities as principal to or from clients (8.A.2)
- has discretionary authority over which securities are bought or sold (8.C.1)
- receives research or other products from a broker-dealer, soft dollars (8.E)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$110M74%
- Pooled investment vehicles$29.7M20%
- Individuals$8.2M5.5%
- Individual clients
- 27reported
- HNW clients
- 66reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 215reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.8 fund_share=0.2 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| C•••• W•Certified Financial Planner | Sugar Land, Tx | Apr 16, 2014 | 27 y | 3 |
| T••••• L• C••• | Sugar Land, Tx | May 21, 2019 | 11 y | 0 |
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
none on the tape
Joined, latest
- C•••• W• from W•••• F•••• A•••••••Apr 16, 2014 · Wirehouse to a newly registered adviser (no RAUM reported yet)
Private funds
1 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| C••• T•••• R••••• F•••• L•• | Private Equity Fund | $18.9M | 26 | Apr 12, 2024 |
Owners and control persons
Schedule A and B, latest filing
- W•• C•••• · Chief Compliance Officer/Managing Membercontrolsince 02/2014 · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Sugar Land, Tx · principal | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Discretionary RAUM · $134M to $147MFeb 19, 2026 to Apr 10, 2026
- Non-discretionary RAUM · $13.7M to $0Feb 19, 2026 to Apr 10, 2026
- Accounts · 202 to 215Jan 30, 2025 to Feb 19, 2026
- HNW clients · 65 to 66Jan 30, 2025 to Feb 19, 2026
- Individual clients · 26 to 27Jan 30, 2025 to Feb 19, 2026
- Pooled vehicle clients · 30 to 34Jan 30, 2025 to Feb 19, 2026
- Discretionary RAUM · $113M to $134MJan 30, 2025 to Feb 19, 2026
- HNW RAUM · $95.2M to $110MJan 30, 2025 to Feb 19, 2026
- Individual RAUM · $9.9M to $8.2MJan 30, 2025 to Feb 19, 2026
- Non-discretionary RAUM · $14.4M to $13.7MJan 30, 2025 to Feb 19, 2026
- Pooled vehicle RAUM · $22.1M to $29.7MJan 30, 2025 to Feb 19, 2026
- RAUM · $127M to $147MJan 30, 2025 to Feb 19, 2026
- HNW clients · 64 to 65Apr 12, 2024 to Jan 30, 2025
- Individual clients · 28 to 26Apr 12, 2024 to Jan 30, 2025
- Pooled vehicle clients · 1 to 30Apr 12, 2024 to Jan 30, 2025
- Financial planning clients · unset to Apr 12, 2024 to Jan 30, 2025
- Discretionary RAUM · $96.8M to $113MApr 12, 2024 to Jan 30, 2025
- HNW RAUM · $82.7M to $95.2MApr 12, 2024 to Jan 30, 2025
- Individual RAUM · $8.8M to $9.9MApr 12, 2024 to Jan 30, 2025
- Non-discretionary RAUM · $13.5M to $14.4MApr 12, 2024 to Jan 30, 2025
- Pooled vehicle RAUM · $18.9M to $22.1MApr 12, 2024 to Jan 30, 2025
- RAUM · $110M to $127MApr 12, 2024 to Jan 30, 2025
- Accounts · 0 to 202Jun 27, 2014 to Apr 12, 2024
- Advisory employees · 1 to 2Jun 27, 2014 to Apr 12, 2024
- Advisory activities · 2 to 1Jun 27, 2014 to Apr 12, 2024
- Business name · C• I••••••••• G•••• to C•••• W• I••••••••• G••••• L••Jun 27, 2014 to Apr 12, 2024
- HNW clients · unset to 64.0Jun 27, 2014 to Apr 12, 2024
- Individual clients · unset to 28.0Jun 27, 2014 to Apr 12, 2024
- Pooled vehicle clients · unset to 1.0Jun 27, 2014 to Apr 12, 2024
- Employees · 1 to 2Jun 27, 2014 to Apr 12, 2024
- Financial planning clients · 0 to unsetJun 27, 2014 to Apr 12, 2024
- State-registered IARs · 0 to 2Jun 27, 2014 to Apr 12, 2024
- Other offices · unset to 0.0Jun 27, 2014 to Apr 12, 2024
- Private funds · unset to 1Jun 27, 2014 to Apr 12, 2024
- Discretionary RAUM · $0 to $96.8MJun 27, 2014 to Apr 12, 2024
- HNW RAUM · unset to 82680978.0Jun 27, 2014 to Apr 12, 2024
- Individual RAUM · unset to 8778292.0Jun 27, 2014 to Apr 12, 2024
- Non-discretionary RAUM · $0 to $13.5MJun 27, 2014 to Apr 12, 2024
- Pooled vehicle RAUM · unset to 18926909.0Jun 27, 2014 to Apr 12, 2024
- RAUM · $0 to $110MJun 27, 2014 to Apr 12, 2024
Signals
1 dated events
- C•••• W• I••••••••• G••••• L•• filed its initial SEC registration (Form ADV)Apr 12, 2024 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- C•••• W• I••••••••• G••••• L•• · Independent Sponsorsshared crd · capital_provider
- C•••• W• I••••••••• G••••• L•• · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- Business phone
- 281-203-0069reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- c•••••••••.comreportedpublic record, Form ADV, Sep 21, 2026
- Principal office phone
- (281) 203-0069reportedpublic record, Form ADV, Apr 10, 2026
- Contact form
- c•••••••••.comreportedpublished by the firm, firm site, Sep 16, 2026
Provenance
- Form ADV
- SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
- Advisors
- IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
- Class
- Independent wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $73.7Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026